Broker-Dealer Firms

80,028 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.

A
14,984 (74.7%)
B
3,006 (15.0%)
C
1,078 (5.4%)
D
737 (3.7%)
F
250 (1.2%)

Firms are graded on a size-normalized scale: a clean record earns an A, while firms with disclosures are ranked by disclosure intensity per branch office against same-size peers.

Sort and filter the full register below, or read the grade methodology.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Highfields Capital Management LP
CRD: 157548
 - 0 0 - Unknown
Highgate Financial Partners
CRD: 317963
 - 0 1 - Unknown
Highgate Group USA Inc.
CRD: 333217
 - 0 0 - Unknown
Highgate Securities Investments
CRD: 286009
 - 0 0 - Unknown
Highgate, Inc.
CRD: 26226
 - 0 0 A INACTIVE
Highgate, Inc.
CRD: 44272
 - 0 0 A INACTIVE
Highgear Ventures Management, LLC
CRD: 284959
 - 0 1 - Unknown
Highguard Capital
CRD: 151322
 - 0 0 - Unknown
Highland Capital Advisors , LLC
CRD: 159055
 - 0 1 - Unknown
Highland Advisory Corp.
CRD: 135036
 - 0 0 - Unknown
Highland Asset Management
CRD: 162319
 - 0 0 - Unknown
Highland Associates Inc
CRD: 104948
 - 0 1 - Unknown
Highland Capital Advisors, LLC
CRD: 139780
 - 0 3 - Unknown
Highland Capital Group Inc.
CRD: 139923
 - 0 0 - Unknown
Highland Capital Healthcare Advisors, L.P.
CRD: 153325
 - 0 0 - Unknown
Highland Capital Investment Company
CRD: 21671
 - 0 0 A INACTIVE
Highland Capital Management, L.P.
CRD: 103902
 - 0 0 A INACTIVE
Highland Capital Management, L.P.
CRD: 110126
 - 0 0 - Unknown
Highland Capital Management, LLC
CRD: 104842
 - 0 8 - Unknown
Highland Capital Partners
CRD: 161205
 - 0 1 - Unknown
Highland Consulting Associates Inc.
CRD: 109834
 - 0 1 - Unknown
Highland Consulting Associates International, Inc.
CRD: 282906
 - 0 1 - Unknown
Highland Creek Partners Management, LP
CRD: 336611
 - 0 1 - Unknown
Highland Europe (Geneva) S.A.R.L.
CRD: 165378
 - 0 0 - Unknown
Highland Financial Advisors, LLC
CRD: 125838
 - 0 2 - Unknown
Highland Financial, LLC
CRD: 334937
 - 0 1 - Unknown
Highland Financial, Ltd.
CRD: 25896
 - 3 0 C INACTIVE
Highland Information Services, Inc.
CRD: 25873
 - 0 0 A INACTIVE
Highland Investment Advisors LLC
CRD: 141694
 - 0 8 - Unknown
Highland Investment Advisory, LLC
CRD: 126217
 - 0 0 - Unknown
Highland MB Wealth LLC
CRD: 299209
 - 0 1 - Unknown
Highland Park Investments LLC
CRD: 197515
 - 0 1 - Unknown
Highland Park Wealth Management, LLC
CRD: 155545
 - 0 0 - Unknown
Highland Peak Capital, LLC
CRD: 306304
 - 0 1 - Unknown
Highland Private Wealth Management
CRD: 109532
 - 0 0 - Unknown
Highland RIM Capital, L.P.
CRD: 331863
 - 0 0 - Unknown
Highland Securities Co.
CRD: 33289
 - 1 0 B INACTIVE
Highland View Capital, LLC
CRD: 325733
 - 0 1 - Unknown
Highland Wealth Advisors, LLC
CRD: 154621
 - 0 2 - Unknown
Highland Wealth Advisory LLC
CRD: 154031
 - 0 1 - Unknown
Highland Wealth Management
CRD: 298316
 - 0 2 - Unknown
Highlander Capital Group, Inc.
CRD: 19074
 - 7 0 D INACTIVE
Highlander Capital Management LLC
CRD: 106667
 - 0 0 - Unknown
Highlands Asset Management, Inc.
CRD: 126850
 - 0 2 - Unknown
Highlands Capital Corporation
CRD: 123361
 - 0 1 - Unknown
Highlands Securities Corporation
CRD: 7222
 - 0 0 A INACTIVE
Highlands Wealth Advisors, L.L.C.
CRD: 285920
 - 0 0 - Unknown
Highlands Wealth Advisors, LLC
CRD: 156428
 - 0 1 - Unknown
Highlands Wealth Management
CRD: 317654
 - 0 0 - Unknown
Highlandx
CRD: 315413
 - 0 1 - Unknown
Page 684 of 1601 (80,028 total)
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